service provider terminates contract or the service provider can no longer provide service for derivatives broker. Clause 10. Derivatives broker shall require service provider to keep, complete and update

securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no

each mutual fund, which shall be submitted as per Form 117-8 attached to this Notification within fourteen days from the next following date after such mutual fund manager commences or terminates such

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1

from the date on which the disruption occurs. Once the major operational disruption ends, intermediaries shall notify the SEC without delay. Clause 10 Intermediaries shall keep documents and evidence

details at the earliest time but no later than the next business day from the date on which the disruption occurs. Once the major operational disruption ends, the securities company shall notify the Office

specified by the Office under the first paragraph, it shall be deemed that the exemption from appointment of independent director granted by the Office is terminated as from the date on which such period ends

shall be an entitlement of unallocated subscribers’ rights to receive interest at the rate of not less than seven point five percent per annum from the date after such period ends; (b) prohibition of

period ends; (b) prohibition of using subscription money in excess of the total amount expected to obtain from the offering for any other business before returning money to unallocated subscribers